Regulatory and Disciplinary Cases

In the modern world virtually all professions are regulated by professional bodies or regulators and in the event of a complaint or an investigation timely and specialist advice is essential, and the earlier the better. Early resolution of an issue can often avoid later life changing problems.

Our team of lawyers are trained in the art of careful and skillful negotiation to resolve matters with minimum risks to business and livelihood.

In the last 18 months we have represented top ranking bankers and financiers, doctors, surgeons, pharmacists, lawyers, members of the armed forces, members of the police force and superintendents, accountants, financial advisors in relation to regulatory and disciplinary issues.

There is a trend for regulatory agencies such as the Financial Conduct Authority (FCA) to obtain and share information with overseas regulators or investigators. Our financial regulatory team are experienced in dealing with such investigations which have overseas or multijurisdictional aspects including case investigations conducted by the FCA, the Department of Justice, the FBI, the US Secret Service, the CFTC and the Securities and Exchanges Commission (SEC). Edward Hayes are one of the few firms in the UK with experience in these highly specialised areas.